OFCCP may conduct a compliance evaluation that consists of one, or any combination of, the following investigative procedures:
- Compliance review;
- Off-site review of records;
- Compliance check; and
- Focused review.
Each of the investigative procedures is discussed in this chapter;2 the first is compliance review procedures. A compliance review is a comprehensive analysis and evaluation of the employment practices of the contractor, including the contractor’s written affirmative action program (AAP), and the results of the contractor’s affirmative action efforts. A compliance review may proceed in three stages:
- Desk audit;
- On-site review; and
- Off-site analysis.
However, the regulations do not require an on-site review or off-site analysis in all cases. Depending on the circumstances or the results of the desk audit, a compliance review may:
- Close after the desk audit;
- Continue with an on-site review; or
- Continue with an off-site analysis of the information gathered during or pursuant to the on-site review.
An off-site review of records is an analysis and evaluation of all or some portion of the contractor’s AAPs and supporting documentation, and other documents related to the contractor’s personnel policies and employment actions that may be relevant to a determination of whether the contractor complied with the requirements of Executive Order 11246, Section 503 and/or VEVRAA, as appropriate. COs must use the desk audit procedures outlined in this chapter when conducting an off-site review of records.
A compliance check is an examination to determine whether a contractor maintained certain records as required by the regulations at 41 CFR 60-1.12, 41 CFR 60-300.80, and 41 CFR 60-741.80. The contractor has the option of providing the documents either on-site or off-site. Therefore, COs3 must contact the contractor to determine whether the requested records will be provided on-site or off-site. COs will also need to contact the contractor during the review if they need specific issues clarified. A compliance check need not include an on-site review. If a contractor provides records off-site, but a CO finds that it may be appropriate to conduct a physical, on-site inspection, the CO must discuss the matter with his or her supervisor.4
Finally, a focused review is an on-site review focused on one or more components of the contractor’s organization, or one or more aspects of the contractor’s employment practices. OFCCP may conduct a focused review to determine the contractor’s compliance with a particular legal authority or may conduct a focused review of a particular employment practice under all of the laws OFCCP enforces.5 For example, in a Section 503 focused review, the CO would review policies and practices of the contractor related solely to Section 503 compliance. OFCCP will identify the subject of the focused review and inform the contractor before the start of the review.
2. The investigative procedures discussed in this chapter may apply to both construction and supply and service contractors.
3. All references to the terms “compliance officer” and CO in this Chapter and throughout the Manual include any OFCCP employee that is responsible for the tasks or activities described.
4. See Chapter 2 – On-Site Review. That chapter covers on-site review procedures, including any required supervisory approvals.
5. See Directive 2018-04, “Focused reviews of contractor compliance with Executive Order 11246 (E.O.), as amended; Section 503 of the Rehabilitation Act of 1973 (Section 503), as amended; and Vietnam Era Veterans’ Readjustment Assistance Act of 1974 (VEVRAA), as amended.” In the focused reviews anticipated by this Directive, OFCCP would go on-site and conduct a comprehensive review of the particular authority or employment practice at issue.